SEC Form 4 · accession 0000100493-16-000208

TYSON FOODS, INC. · TSN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Howell P Carper

Officer — EVP Strategy and New Ventures

Period of report

Mar 17, 2016

Accepted (ET)

Apr 22, 2016 · 12:44 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000100493

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F1,F2	Mar 17, 2016	J	129	$0.00	A	52,783	D
Class A Common Stock^F2	Apr 20, 2016	M	12,100	$19.36	A	64,883	D
Class A Common Stock^F2	Apr 20, 2016	M	24,833	$31.82	A	89,716	D
Class A Common Stock^F2	Apr 20, 2016	M	27,830	$42.26	A	117,546	D
Class A Common Stock^F4,F2	Apr 20, 2016	S	64,763	$63.765	D	52,783	D
Class A Common Stock^F5	Apr 21, 2016	J	301	$0.00	A	6,319	I	Employee Stock Purchase Plan

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Non-Qualified Stock Options (Right to Buy)	$19.36	Apr 20, 2016	M	12,100	D	Nov 26, 2013	Nov 26, 2022	Class A Common Stock	12,100	0	D
Non-Qualified Stock Options (Right to Buy)	$31.82	Apr 20, 2016	M	24,833	D	Nov 22, 2014	Nov 22, 2023	Class A Common Stock	24,833	24,833	D
Non-Qualified Stock Options (Right to Buy)	$42.26	Apr 20, 2016	M	27,830	D	Nov 21, 2015	Nov 21, 2024	Class A Common Stock	27,830	55,660	D

Explanation of responses

F1Represents shares of the Issuer's Class A Common Stock received by the Reporting Person pursuant to the Issuer's dividend reinvestment plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16a-11.
F2Includes 9,325.762 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2016 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; includes 7,805.220 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; and, includes 8,475.039 shares of Class A Common Stock which vest on December 1, 2018 if the performance metrics described in the applicable Stock Incentive Agreement are achieved.
F3On March 22, 2016, the Reporting Person placed an order with his broker to exercise outstanding options to purchase 64,763 shares of the Issuer's Class A Common Stock and sell said shares if the market price decreased to $64.00 per share, which occurred on the transaction date reported herein.
F4This is a weighted average price. These shares were sold in multiple transactions on April 20, 2016 at prices ranging from $63.61 to $63.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F5Represents shares of the Issuer's Class A Common Stock purchased for the Reporting Person's account under the Issuer's Employee Stock Purchase Plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16b-3.